0000921895-20-002594.txt : 20201013
0000921895-20-002594.hdr.sgml : 20201013
20201013191349
ACCESSION NUMBER: 0000921895-20-002594
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200930
FILED AS OF DATE: 20201013
DATE AS OF CHANGE: 20201013
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rudolph Barry
CENTRAL INDEX KEY: 0001543471
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-23970
FILM NUMBER: 201237765
MAIL ADDRESS:
STREET 1: 1351 S SUNSET STREET
CITY: LONGMONT
STATE: CO
ZIP: 80501
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: FALCONSTOR SOFTWARE INC
CENTRAL INDEX KEY: 0000922521
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 770216135
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 125 BAYLIS ROAD
CITY: MELVILLE
STATE: NY
ZIP: 11747
BUSINESS PHONE: 631 777 5188
MAIL ADDRESS:
STREET 1: 125 BAYLIS ROAD
CITY: MELVILLE
STATE: NY
ZIP: 11747
FORMER COMPANY:
FORMER CONFORMED NAME: NETWORK PERIPHERALS INC
DATE OF NAME CHANGE: 19940502
4
1
form404637006rud_10132020.xml
OWNERSHIP DOCUMENT
X0306
4
2020-09-30
0
0000922521
FALCONSTOR SOFTWARE INC
FALC
0001543471
Rudolph Barry
C/O FALCONSTOR SOFTWARE, INC.
701 BRAZOS STREET, SUITE 400
AUSTIN
TX
78701
1
0
0
0
Common Stock
2020-09-30
4
A
0
73600
0
A
117758
D
The restricted shares vest as follows: 2.5% of the shares shall vest on the first anniversary of the grant date of September 30, 2020 (the "Grant Date"); 2.5% of the shares shall vest on the second anniversary of the Grant Date; 2.5% of the shares shall vest on the third anniversary of the Grant Date; 2.5% of the shares will vest on the fourth anniversary of the Grant Date; 45% of the shares shall vest upon preferred investors receiving cash proceeds in return on their invested capital in the Issuer; and 45% of the shares shall vest upon a change of control of the Issuer.
Amount adjusted to reflect 100-for-1 reverse stock split effected by the Issuer in August 2019 as well as certain other adjustments.
/s/ Barry Rudolph
2020-10-12